Records and Information Management: Elizabeth Adkins

Records and
Information
Management
Elizabeth Adkins
Dir., Information Governance
Grant Thornton LLP
Raquel Tamez
Chief Legal Officer
SourceAmerica
Patrick Oot
Partner
Shook, Hardy & Bacon, LLP
Records Management & Information Governance
2
Define Records and Information Management
Records management, also known as records

and information management or RIM, is the
professional practice of managing the records
of an organization throughout their life cycle,
from the time they are created to their eventual
disposal. This includes identifying, classifying,
storing, securing, retrieving, tracking and
destroying or permanently preserving records.
ARMA International. "Glossary of Records and
Information Management Terms, 3rd Edition". ARMA
International.
3
Why Records Management?
The purpose of records

management is part of an
organization's broader function
of Governance, Risk, and
Compliance (or "GRC") and is
primarily concerned with the
managing the evidence of an
organization's activities as well
as the reduction or mitigation
of risk associated with It.
4
What is Information Governance?
Information governance, or IG, is the activities and

technologies that organizations employ to maximize
the value of their information while minimizing
associated risks and costs.
-Information Governance Initiative
http://iginitiative.com/2014-annual-report-sneak-peek-our-definition-of-information-governance/
5
Opportunity: Information Governance
Information governance encompasses more than

traditional records management. It incorporates
information security and protection, compliance, data
governance, electronic discovery, risk management,
privacy, data storage and archiving, knowledge
management, business operations and management,
audit, analytics, IT management, master data
management, enterprise architecture, business
intelligence, big data, data science, and finance.
6
Agency Mandate: 2011 Presidential Memorandum
Directs agency heads to take specific steps to reform and improve

records management policies and practices:
i. Creating a Government wide records management framework that
is more efficient and cost effective;
ii. Promoting records management policies and practices that enhance
the capability of agencies to fulfill their statutory missions;
iii. Maintaining accountability through documentation of agency
actions;
iv. Increasing open Government and appropriate public access with
applicable legal requirements related to the preservation of
information relevant to litigation; and
v. Transitioning from paper-based records management to electronic
records management where feasible.
7
RIM Myths
RIM is only needed by large corporations, or those in

highly-regulated industries
If you have data, youre impacted, and who doesnt have
data?
If you have customers, suppliers, partners, products or
services, you have exposure
RIM belongs to a small group of dedicated people,
such as Legal, Records Management, etc.
Problem and solutions have grown beyond the ability of
traditional records managers
New skill sets are needed. Records managers need to be
technologists, business people and lawyers now, not just
librarians
8
Develop a RIM Program
Records
Policy Procedures Processes Retention
Schedule
Enterprise Overview
Define Policy by Regulatory and Business need
Discuss IT Department Representative(s) responsibility in
supporting and managing Records and Information
Compliance with the Records Retention Schedule (RRS)
Records and Information Management (RIM) Procedures
Manual and Industry Standards and Best Practices
Education
9
Some Considerations in a RIM Program
1. RIM Program Overview

2. RIM Fundamentals & Policy
3. Records Retention Schedule
4. RIM Procedures Manual
5. Disposition & Legal Hold
6. Shared Drives & Folder Structure
7. Systems of Records
8. Guidelines and Functional Requirements
9. Next Steps
10
Policy Statement
Records and information shall

be created, protected, managed
and disposed of in accordance
with applicable laws,
regulations and requirements
of this policy and company
policies.
Risks of Not Managing Records
Fines, sanctions and penalties

Legal Obligations
Fiduciary Duties
Work Processes Impacted
Increased Cost of Legal Discovery
12
What are Records?
Any recorded information, regardless of medium or

characteristic, created, received, maintained, and retained by
an organization in pursuance of legal obligations or in the
transaction of business.
Records can be found in any format:
electronic
email
paper
other media
Official Records are the version of a record or
information that must be retained for the Official
Records Retention Period.
13
Records Lifecycle
Creation/
Receipt
Disposition Classification
Retention Use
14
Components of the Program
RIM Policy & Glossary
Records Retention Schedule (RRS)
Legal Hold
RIM Procedures Manual
Departmental Procedures
Auditing
Records Coordinators & Associate Training

RIM Policy Overview
The Policy establishes Company policy for:

Ownership of Company records
Records creation
Retention and preservation
Disposition
Compliance with legal and regulatory requirements
Data protection
Records should be classified and protected
Access to them controlled according to their Security
Level
16
The Role of Department IT Representatives
The IT Representative(s) is the contact to support the

Records Coordinators (RCs) within each department and
the Corporate Records Management Department
Help Record Coordinators (RCs) with the management and
disposition of department electronic files and Official
Records, and support general compliance with the RIM
Program
Implement and maintain the Guidelines and Functional
Requirements for digital records management systems
Ensure that records subject to Legal Holds, Audits and
Investigations are protected from disposition
Control Access and Security
17
Process Considerations for RIM Manual
Records and information are Periodically, Records Records Coordinators will submit IT Representatives generate
managed in Systems of Records, Coordinators will request a request to IT to generate Records Records Inventory Reports upon
Shared Drives, Department Records Inventory Report of Inventory Reports to identify approval from Department
Servers and e-mail according to records that are eligible for official records, convenience Management.
the Records Retention disposition. information and/or transitory
Schedule. records/information subject to
disposition.
Disposition approval will be Tax, Legal and Compliance Records Inventory list is Records Coordinators
sent to the Department IT conduct the final review of reviewed and approved by the review and highlight
Representative records subject to disposition. Corporate Records exceptions to disposition.
Management Department. Department Managers
Some records may be held due review the report.
to litigation or audit.
Disposition Procedures Overview
Disposition of Records Procedures support the

RIM Policy and define rules and requirements
for:
Retention and disposition of records

Preservation for Legal Holds
Protection of records
19
Disposition of Records
Records Coordinators
Identify records subject to disposition using the RRS
Retain records identified as subject to a Legal hold
Work with Key Custodians within their departments to ensure
records that are subject to Legal/Audit Holds are retained
accordingly
In preparation for the RIM Review Day disposition
process, review Electronic Inventory Reports to ensure
official records are protected and validate records class
codes are accurate in compliance with disposition
authority
Submit Disposition Approval Request to the
Department Management and the Corporate Records
Management Department 20
Disposition of Records (contd)
IT Representatives
Verify with the Records Coordinator information
has been tagged for disposition according to the
RRS and the Procedures Manual
Confirm disposition authorization with the
Corporate Records Management Department
Retain records identified by Associates as subject
to a Legal hold and/or Audit hold
Review Records Inventory Reports in preparation
for the RIM Review Day disposition process to
ensure official records are protected and validate
records class codes are accurate in compliance
with disposition authority
21
RIM and Legal Hold
Legal Hold is a communication issued by the Legal

Department as a result of current or reasonably
anticipated litigation, audit, government
investigation, or other such matters that suspends
(or stops) the normal disposition or processing of
records and information.
A legal hold applies to both Official Records and
non-records.
Penalties can be significant criminal in government
investigations
22
Disposition of Electronic Records & Email
Disposition for a record, is the final action taken per the

Records Retention Schedule, concluding with destruction,
transfer, or permanent preservation, or, for records with
historical value, transfer to a historical records archive
Prior to disposition of electronic records or email,
Associates shall obtain authorization from Department
Management and the Corporate Records Management
Department to delete documents
Documents to be deleted must have passed their retention
period or be Convenience Information
IT deletes documents from file shares, document
management systems, or archives upon direction from
Corporate Records Administration or the Information
Owner
23
Why Get Your House In Order?
Efficiency
If you are offering services related to Records and
Information Management, you might consider how
your own organization manages information
Information has both value and risk. Depending
on your organizational profile, the ROI is probably
there
Low-cost and free tools are available from
providers like Microsoft through non-profit
programs like TechSoup.org
24
Tools: Office365 for Non-Profits
25
Tools: Office365 for Non-Profits
26
Ideas for RIM/InfoGov Services
Copying/Scanning Services
Document Management
Database Management
Secured Document Destruction
Secured Electronic Media Destruction
Project Management
Computer Technicians
Information Security Specialists
FOIA Support
27
Questions & Dialogue with the Panelists
28

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Records and

Records management, also known as records

The purpose of records

Information governance, or IG, is the activities and

Information governance encompasses more than

Directs agency heads to take specific steps to reform and improve

RIM is only needed by large corporations, or those in

1. RIM Program Overview

Records and information shall

Fines, sanctions and penalties

Any recorded information, regardless of medium or

RIM Policy & Glossary

Records Retention Schedule (RRS)

RIM Procedures Manual

Records Coordinators & Associate Training

The Policy establishes Company policy for:

The IT Representative(s) is the contact to support the

Disposition of Records Procedures support the

Retention and disposition of records

Legal Hold is a communication issued by the Legal

Disposition for a record, is the final action taken per the

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